Control of Records

IntegratedManagementSystem

ControlofRecords

AGLGILAUHIMSPQHSE002 Version2.0 Dated:18Dec2011 Page1of8

DocumentRevisionHistory

VersionNo.

DateofRevision DescriptionofChanges

PagesAffected

RevisedBy

00 1May2009 1stissueforimplementation

1.0 25Apr2011 PeriodicIMSreview

2.0 18Dec2011 Completelyrevised AllProcessAnalyst

ThisProcedureisconfidentialandhasbeenpreparedexclusivelyforAgility(AbuDhabi)PJSC.Itshouldnotbeused,reproducedorcirculatedforanyotherpurpose,inwholeorinpartwithoutpriorwrittenapprovalfromAgility(AbuDhabi)PJSC.


ControlofRecords


TableofContents

1. Purpose...........................................................................................................................................................2

2. Scope...............................................................................................................................................................2

3. OwnershipStatement....................................................................................................................................3

4. TermsandDefinitions...................................................................................................................................3

5. Abbreviations.................................................................................................................................................3

6. ResponsibilitiesandAuthorities..................................................................................................................3

7. Procedure.......................................................................................................................................................4

8. Measurements................................................................................................................................................6

9. Records...........................................................................................................................................................6

10. References......................................................................................................................................................7

1. PurposeEstablishing, implementing and maintaining Integrated Management System as per therequirements of ISO 9001: 2008, ISO 14001: 2004, BS OHSAS 18001: 2007 InternationalStandards for managing and controlling records that are generated while conducting thebusinessandfallsunderthepurviewofManagementSystem.

Intention of developing and implementing a Record Control procedure is to ensure thefollowing:1. Recordsareproperlyidentified,stored,andprotected.2. Recordsareretainedforaminimumspecifiedperiod.3. Recordsremainlegible,identifiableandretrievableasandwhenrequired.4. Recordsaredisposedoffsuitablyoncompletionofretentionperiod.

Note: Although the procedure is termed as Quality Management System Procedure, thisprocedureshallbeappliedformanagingrecordsofotherManagementSystemsasmentionedabove.

2. ScopeThis procedure shall be followedby all departments/functions (includingproject sites) formanaging and controlling records which are necessary to demonstrate conformance toQuality, Health, Safety and Environment Management System or any other ManagementSystem.

Recordsmaybeinelectronicorpaperform.


ControlofRecords


3. OwnershipStatementMR owns this document and is responsible for ensuring its periodic review for adequacy,suitability,applicability,revisionsanditseffectiveimplementation.

4. TermsandDefinitions

Term Definition

CorrectiveActionAction to eliminate a causeof a detectednonconformityor otherundesirablesituation.

Nonconformity Nonfulfillmentofarequirement

PreventiveActionAction toeliminatea causeofapotentialnonconformityorotherundesirablepotentialsituation

ProtectionProtecting the record from unauthorized access, loss ofdata/information, physical damage to records etc from people,environmentetc

RecordDocument stating results achieved or providing evidence ofactivitiesperformed

RetentionKeeping records for a specified time. Normally it is expressed inweeks/months/yearsetc

Retrieval Pullingoutthestoredinformation/dataetc.

StorageMedium in which information captured. It may be on paper,electronic,magnetic,opticalincludingphotograph,sampleetc.

5. Abbreviations

Abbreviations DescriptionAgility Agility(AbuDhabi)PJSCCEO ChiefExecutiveOfficerIMS IntegratedManagementSystemQMS QualityManagementSystemISO InternationalOrganizationforStandardizationMR ManagementRepresentativeOHSAS OccupationalHealthSafetyAssessmentSeriesHSE Health,SafetyandEnvironment

6. ResponsibilitiesandAuthorities

Designation ResponsibilitiesStaff Generating and maintaining necessary records for those

activitiesandprocessesforwhichhe/sheisresponsibleandaccountable.

DepartmentHeads Identifying records for activities/operations demonstratingconformance to Quality, Health, Safety and EnvironmentManagementSystemoranyotherManagementSystem.


ControlofRecords


Designation Responsibilities Identifying whether the records are duly generated,

maintained and controlled through Departmental list ofrecordswithintheirDepartment/Function.

Storingandretainingrecordsforspecifiedperiod. Protectingrecordsfromphysicalharmandunintendeduse. Retrieving therelevantrecordsasandwhennecessary

MR MaintainingsystemrelatedrecordspertainingtoIntegratedManagementSystemoranyotherManagementSystem

Contractors/subcontractors

Maintaining records for verification etc. pertaining to IMSwhile they are executing a job at a workplace under thecontrolofAgility

7. Procedure7.1. IdentifyingRecords

Steps Activity Responsibility1 IdentifytherecordstobemaintainedintheDepartment

consideringthefollowing:1. Activity/processspecificrecords.2. HSErelatedrecords3. Communications(Internalandexternal).4. Reports(Weekly/monthlyetc.)5. Registersetc.

DepartmentHead

2 Identifytherecordstobemaintainedfordemonstratingconformanceto IMSoranyotherManagementSystem.Example:ManagementReviewMeetingminutes

MR

3 Decide on the unique identity for records filingsystem/folders and communicate the samewithin thedepartment. (Each department can decide on uniqueidentity). Identity may be AgilityDepartmentTitle ofrecordYear

DepartmentHead

4 Decideontheretentionperiod.Note:1. While deciding the retention period consider

operational/ business needs and applicable legal/regulatoryrequirement.

2. TheretentionperiodofHSErecordsshall followtherequirementsoftheIMS

3. Retentionperiod=Activeperiod+Archiveperiod.4. Active period means period for which records are

required to demonstrate the conformity with therequirements.

5. Archive period means duration for which therecordsarekeptforreferenceoranyotherpurpose.

MR/DepartmentHead


ControlofRecords


7.2. RegisteringRecordsSteps Activity Responsibility1 Fill Departmental List of Records (AGLGILAUH

QHSE071) orMaster List ofRecords (AGLGILAUHQHSE072)

1MR/DepartmentHead

2 Forward filled Departmental List of Records to MR.Note:Wheneveranewrecordisidentifiedandintroducedwithin the systemor it is felt thata record isno longernecessary, update Departmental List of Records byaddingonto the listordeleting from the listas the casemaybeandforwardittoMRforupdating intheMasterListofRecords.Obtainacknowledgementandmaintainit.

DepartmentHead

3 MaintainandupdateMasterListofRecords. MR

7.3. Maintaining,storingandprotectingrecordsSteps Activity Responsibility1 1. Storepaperrecordsinthedesignatedcabinet.

2. Store electronic records (such as soft copies ofrecords) in the common drive/shared driveidentifiedforthedepartment.

3. DONOT store the records on personal folder or ondesktop.

4. Identifyandstoreinawaythatrecordscanbeeasilyretrievedasandwhenrequired.

Employees

2 Ensure the following through periodic checks. Periodiccheckmaybeaudits1. Records (paper/electronic) not

damaged/deteriorated throughout its retentionperiod.

2. Records remain legible throughout the period ofstorage.

3. Unintendeduseisrestricted.4. Check the backup status with IT department for

electronicrecords.

DepartmentHead

7.4. DisposingrecordsSteps Activity Responsibility1 Identify records that are due for disposal from the

DepartmentalListofRecords.DepartmentHead

1 MRshallobtainpermission fordisposingsystemrelatedrecords.DepartmentHeadsshallobtainpermission fordisposingdepartmentspecificrecords.


ControlofRecords


Steps Activity Responsibility2 Identifysystemrecordsthatareduefordisposalfromthe

MasterListofRecords.MR

3 Obtain permission from CEO or Directors for disposingrecords.UseRecordDisposalPermission(AGLGILAUHQHSE073)

2MR/DepartmentHead

4 Dispose records by shredding. (Paper/CD/Magnetictapesetc.)

MR/DepartmentHead

5 UpdateRecordDisposalRegister(AGLGILAUHQHSE074)andforwardacopytoMRandmaintainoneinthedepartment.

MR/DepartmentHead

6 Maintainrecord. MR

Someexamplesofrecords

1. Internal/externalauditreports;2. ManagementReviewMeetingminutes;3. Trainingrecords;4. HSEcommitteemeetingminutes;5. Meetingminuteswithcontractors;6. IncidentInvestigationRecords;and7. Performancereportingreportsetc.

Note:HighlevelprocessflowchartforrecordcontrolprocedureisattachedtothisprocedureasAnnexureA

8. Measurements PlannedrecordsVsMaintainedrecords Numberofrecordslostperfunction/department

9. Records

Records RecordRefNo. Responsibility RetentionperiodDepartmental List ofRecords

AGLGILAUHQHSE071 MR 3years

MasterListofRecords AGLGILAUHQHSE072 MR 3years

Record DisposalPermission


Record DisposalRegister


2 MRshallobtainpermission fordisposingsystemrelatedrecords.DepartmentHeadsshallobtainpermission fordisposingdepartmentspecificrecords.


ControlofRecords


10. References

ISO9001:2008(Clause4.2.4) ISO14001:2004(Clause4.5.4) BSOHSAS18001:2008(Clause4.5.4)

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